Norman J. Stumberg
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Norman James Stumberg, who also goes by Norman J Stumberg, was a registered financial advisor .
Norman is a previously registered financial advisor and started their career in finance in 1979. Norman had worked at 10 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 28, 2006 - December 11, 2007
JESUP & LAMONT SECURITIES CORP
November 13, 2002 - November 26, 2007
INDEPENDENT PORTFOLIO CONSULTANTS, INC.
May 1, 1998 - March 6, 2006
ADVEST, INC.
March 21, 1995 - January 17, 1997
CITICORP INVESTMENT SERVICES
January 3, 1992 - October 12, 1994
FIRST UNION BROKERAGE SERVICES, INC.
May 18, 1989 - December 22, 1989
FIRST UNION BROKERAGE SERVICES, INC.
August 8, 1984 - August 5, 1987
UBS FINANCIAL SERVICES INC.
February 21, 1984 - August 6, 1984
NTB FINANCIAL CORPORATION
November 19, 1982 - February 2, 1984
APS FINANCIAL CORPORATION
November 3, 1981 - November 1, 1982
CHESLEY AND DUNN, INC.
September 19, 1979 - October 20, 1981
FIRST COLORADO INVESTMENTS & SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
JESUP & LAMONT SECURITIES CORP
CRD#: 39056 / SEC#: , 8-48893
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JESUP AND LAMONT, INC | OWNER | |
| HOLUB, WILLIAM C | FINOP, CFO, COO, CCO | 2680290 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
